Senior Compliance Consultant — Regulatory Hosting

Compliance Professionals; Greater London; On-site; GBP 90,000 - 115,000; Full time

Job summary

Compliance Professionals, a growing boutique compliance consultancy, is seeking a senior compliance professional with regulatory hosting experience. The role centers on supporting Appointed Representatives, monitoring activities, implementing policies, and providing expert advice.

The ideal candidate has 7–10 years in asset-management compliance, strong FCA Handbook knowledge, and a proven track record in client-facing roles.

Qualifications

• 7–10 years’ experience in a compliance or management consultancy.
• Thorough knowledge of the FCA Handbook.
• Experience of compliance monitoring or similar.
• Excellent customer service ethos.
• Strong client-facing ability.

Responsibilities

• Primary compliance resource for Appointed Representatives on the platform.
• Lead monitoring reviews of Appointed Representatives, on-site and remotely.
• Implement policies and oversight of Appointed Representatives per the compliance programme.
• Deliver compliance training, on-site and remotely.
• Provide ongoing compliance advice.
• Review and approve financial promotion materials.
• Update Appointed Representatives on regulatory changes and impacts.
• Support senior management as required.
• Build and develop client relationships.
• Involvement in sales and business development activities.

Skills

Regulatory hosting

FCA Handbook knowledge

Compliance monitoring

Client facing

Training delivery

Job description

Compliance Professionals, a growing boutique compliance consultancy, is seeking a senior compliance professional with regulatory hosting experience. The role centers on supporting Appointed Representatives, monitoring activities, implementing policies, and providing expert advice.

The ideal candidate has 7–10 years in asset-management compliance, strong FCA Handbook knowledge, and a proven track record in client-facing roles.